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Common title, mid-level experience, metro-hybrid and broad skillset create high competition.
Strong regulatory and broker-dealer specificity limits cross-industry transferability.
Explicit 2–4 years and regulated compliance experience moderately tighten candidate filters.
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Support regulatory compliance, licensing, registration, and broker-dealer operations through operational activities and accurate maintenance of regulatory records.
Prepare and manage regulatory forms, documentation, training administration, attestations, and related reporting to ensure adherence to compliance obligations.
Analyze operational data and produce reports, dashboards, and metrics to monitor performance, support audits, and identify process improvements.
Bachelor's degree in Business, Finance, Accounting, Information Systems, or related discipline, or equivalent professional experience.
2–4 years of experience in financial services, operations, compliance, business support, or a related analytical role.
Experience working in a regulated or process-driven environment, including producing operational reports and key performance indicators.
Strong proficiency with Microsoft Excel, Word, and PowerPoint; effective verbal and written communication skills.
Experienced in financial services compliance operations, broker-dealer operations, or retirement/insurance services with understanding of licensing and securities registration.
Skilled in regulatory documentation, training administration, attestations, audits, and internal reviews.
Proficient with reporting and data visualization tools including Microsoft Power BI and SharePoint; capable of managing multiple priorities and collaborating with distributed teams.